FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $15,808.18  on July 16, 2020.

Crawford was a subject of the customer’s complaint against his member firm and/or other named respondent(s) that asserted the following causes of action: failure to timely execute sale; and breach of fiduciary duty. The causes of action relate to sale of Lord Abbett mutual fund.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $40,000.00  on July 14, 2020.

Newbridge Securities Corporation is a named party of an arbitration with the allegation of negligence, breach of fiduciary duty, and negligent supervision. The registered representative, Tyler Bashaw, was not named in the arbitration and was only mentioned in the subject of the statement of claim.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $600,000.00  on July 07, 2020.

Claimant alleges losses in connection with her investments in alternative investments and an annuity. Claimant alleges she was misled about the details of the investments and therefore, incurred damages as a result of her purchases. Activity period:  5/8/14 to present.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $21,420.00  on July 08, 2020.

Customer purhased reit in 2014 that has gone down in value and alleges representative told her at time of purchase that she would receive the investment principal plus all dividends at end of five years.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $50,000.00  on July 16, 2020.

It is alleged that customer’s investment in private fund was unsuitable

FINRA BrokerCheck shows a settled customer complaint on July 16, 2020.

Customer alleges the Variable Annuity policy she purchased in June 2013 was initially understood to allow for withdrawals however she recently became aware that this policy does not allow for withdrawals, therefore she is requesting an exception in order to access her funds immediately.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $13,922.00  on July 14, 2020.

Client has made allegations that the representative misstated investment risk and objectives.

FINRA BrokerCheck shows a settled customer complaint on July 09, 2020.

The client alleges the investments he purchased between 2014-2016 were illiquid and not suitable for him. In addition, the client alleges that the product sponsor’s offerings were misrepresented. The client also alleges the firm was negligent and failed to conduct adequate due diligence.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $110,000.00  on July 16, 2020.

Claimant alleges unsuitability in connection with one alternative investment purchase made seven years ago, and requests rescission and other compensatory damages. Activity period:  5/2013 – 6/2020

FINRA BrokerCheck shows a settled customer complaint on July 08, 2020.

Alleged breach of fiduciary duties by over-concentrating in the energy sector.